UBS FINANCIAL SERVICES INC.

Broker Jason Pirnie in UBS Financial Services INC. Firm Has Customer Complaint

August 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Pirnie (Pirnie), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one regulatory event, alleging that Pirnie recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 04, 2024.

Respondent Pirnie failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Ramon Almonte in UBS Financial Services INC. Firm Has Customer Complaint

August 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramon Almonte (Almonte), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Almonte recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on November 28, 2023.

Allegations as stated by Claimant: Time frame: Unspecified\, \, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Patrick Millian in UBS Financial Services INC. Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Millian (Millian), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Millian recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $8,000.00 on April 09, 2025.

Time Frame: March 31st, 2025 to April 3rd, 2025\, \, What were the allegations against the individua: lThe client alleges that the financial advisor failed to follow her instructions by investing her account prior to when she wanted. The client further alleges that some of the investment decisions were against her risk tolerance.

Broker Jeffrey Rocca in UBS Financial Services INC. Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Rocca (Rocca), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rocca recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 28, 2025.

Time Frame: January 21st, 2025 to May 28th, 2025\, \, What were the allegations against the individual? The client’s son who is the beneficiary alleges that his mother was placed in a strategy that was inconsistent with both her stated profile and personal circumstance. The beneficiary further alleges the strategy was unsuitable for an elderly unsophisticated investor.

Broker Thomas Jenkins in UBS Financial Services INC. Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Jenkins (Jenkins), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jenkins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $4,100,000.00 on June 20, 2025.

Time frame: 2022-2023\, Claimants allege negligence and breach of fiduciary duty by the purported failure of the advisor to timely follow Claimant’s instructions to timely transfer Claimants’ assets to certain trusts, allegedly resulting in tax liabilities.

Broker Steven Shemirani in UBS Financial Services INC. Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Shemirani (Shemirani), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shemirani recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 28, 2025.

Time Frame: January 21st, 2025 to May 28th, 2025\, \, What were the allegations against the individual? The client’s son who is the beneficiary alleges that his mother was placed in a strategy that was inconsistent with both her stated profile and personal circumstance. The beneficiary further alleges the strategy was unsuitable for an elderly unsophisticated investor.

Broker Antonio Oliveira in UBS Financial Services INC. Firm Has Customer Complaint

July 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antonio Oliveira (Oliveira), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Oliveira recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 01, 2025.

Time Frame: May 1st, 2019 to January 31st, 2025\, What were the allegations against the individual? Claimant alleges his instructions were not followed as funds he submitted were not invested in the 529 plans as instructed but left in the money market account. Claimant further alleges his retirement money was not invested as per his instructions and agreement in the managed account.

There are Recent Customer Complaints with Broker Dario Suarez in Firm UBS Financial Services INC.

July 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dario Suarez (Suarez), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Suarez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on April 29, 2025.

Time frame: Unspecified\, Allegations: Claimants allege their investments in Puerto Rico municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments.

There are Recent Customer Complaints with Broker Barry Porter in Firm UBS Financial Services INC.

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Porter (Porter), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Porter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $18,007.36 on May 09, 2025.

Time Frame: December 10th, 2020 to May 9th, 2025\, \, What were the allegations against the individual? Client alleges they advised they did not to hold any investments in their portfolio owned or controlled by a CCP person or entity and as a result this investment was unsuitable for their account.

Broker Nicholas Ruch in UBS Financial Services INC. Firm Has Customer Complaint

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ruch (Ruch), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Ruch recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,233,690.00 on May 23, 2025.

Time frame: 2016 to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.